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Joseph Anthony Ferro

Roth Capital Partners, LLC

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About Joseph Anthony Ferro

Joseph Anthony Ferro is a financial professional with over 20 years of experience in the financial services industry. Joseph is currently registered with Roth Capital Partners, LLC, and has been with the firm since June of 2010. Previously, Joseph held positions at E*Offering, Friedman, Billings, Ramsey & Co., Inc. and Brookstreet Securities Corporation. Joseph holds Series 7, 63, and 65 licenses as well as the SIE exam. Joseph is dedicated to providing clients with personalized financial advice and guidance to help them achieve their financial goals.

Firm Information

Joseph Ferro is currently registered with Roth Capital Partners, LLC. Roth Capital Partners, LLC is a Limited Liability Company formed on January 10, 2001. The firm provides investment advisory services, including distribution of sell-side research reports/corporate access and acting as a solicitor. They have a presence in 52 states and the District of Columbia. Roth Capital Partners, LLC primarily serves investment companies and other investment advisors, with a reported 70 clients in these categories. The firm has disclosed 16 regulatory events and 12 arbitration events.

Not reported

Assets Under Management

Not reported

Total Clients

85

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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(1) distribution of sell-side research reports/corporate access (2) solicitor

(1) distribution of sell-side research reports/corporate access (2) solicitor

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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Joseph Ferro’s Registration & Firm History

CA

06/21/2010 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

03/18/1999 - 08/07/2000

E*OFFERING (SAN FRANCISCO CA)

CA

02/03/1998 - 03/01/1999

FRIEDMAN, BILLINGS, RAMSEY & CO., INC. (LOS ANGELES CA)

CA

11/15/1996 - 02/06/1998

BROOKSTREET SECURITIES CORPORATION (SAN JUAN CAPISTRANO CA)

CA

07/18/1996 - 09/19/1996

CRUTTENDEN ROTH INCORPORATED (NEWPORT BEACH CA)

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Licenses & Designations

BC

Issued 06/30/2010

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 10/06/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/19/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Joseph Anthony Ferro.
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